(Public Offering: “แบบ PO”) ในขณะที่เกณฑ์ห้ำมออกตรำสำรทุนเสนอขำยแบบ PO ปัญหำที่ส ำคัญอีกเร่ืองหนึ่ง คือ ผู้ลงทุนรำยใหญ่ (High Net Worth: “HNW”1) บำงส่วน ตัดสินใจลงทุนโดยพิจำรณำแต่ผลตอบแทน (search for high
: (1) an offer for sale to high net worth investors may only be made upon approval from the SEC Office in accordance with the criteria for the approval and the submission of the application under
foreign entity shall be in accordance with the following rules: (1) an offer for sale of the debt securities to high net worth investors shall be done upon approval from the SEC Office in accordance with
of bonds to institutional investors or high net worth investors; (3) the offering of bonds by foreign entity. If information or documents submitted under Paragraph 1 are translated from a foreign
following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into
also appreciate helpful comments received from Ole-Kristian Hope, Sonia Konstantinidi, Peter Pope, and seminar participants at the University of Exeter and the University of the West of England. 2 1
entity under Paragraph 1 is a financial institution, securities company or life insurance company, it shall be deemed approved for the offer for sale of bills in a private placement to high net worth
Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor . “ association ” means: (1) an association relating to
Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor. “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing